Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-04871 Sheldon Wagner Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Bamey, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sheldon Wagner, hereinafter referred to as "Claimant": William Young, Esq., Hooper & We

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Claimant v, Farhad Ahoubim and Igal Ouri, Respondents Case Number: 00-02225 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent Farhad Ahoubim: For Respondent Igal Ouri: Michael J. Abbott, Esq. Catherine L. Dellecker, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald, LLP Los Angeles, Cal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Balsano, Sr. and Nordon Industries, Inc. Pension Plan dtd 1/31/85, James Balsano Sr. and Ida Mae Balsano, Trustees (Claimants) v. Morgan Stanley DW, Inc. and Dolores Mitchell (Respondents) Case Number: 03-06739 Hearing Site: New Yorlc, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants James Balsano, Sr. ("Balsano"

Stipulated Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Richard G. & Rutii A. Keller (Claimants) v. Hibbard Brown & Co. filc/a Sherwood Securities Corp. fTk/a First Jersey Securities, Tim D. Foster, Brian Walsh, Thomas James Associates, Inc., and Cowen & Company (Respondents) Case Number: 94-04382 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESKNTATTON OF PARTIES Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-07663 Christopher Roan Name of the Respondent Hearing Site: Memphis, Tennessee UBS PaineWebber, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Christopher Roan, hereinafter referred to as "Claimant": Justin Pearson, Esq. and Justin Kam, Esq., Feingold & Kam, LLC, Pahn Beach Gardens, Florida. For UBS Paine

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Robert T. Sauer and Pauline J. Sauer And Case Number: 03-03127 Hearing Site: St. Louis, Missouri Walnut Street Securities, Inc., Polaris Financial Su-ategies, and Michael S. Weisman Customers vs. Member Firm and Associated Persons Claimants, Robert T. Sauer and Pauline J. Sauer (the "Sauers" or "Claimanls"), were represented by Matthew R. Fields, Esq., Green

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06683 John E. Stambaugh, Jr. Names of the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott LLC Robert Finkle Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, John E. Stambaugh, Jr. ("Claimant") was represented by Kenneth S. Ooodkind, Esq., Flaster/Greenberg, P.C., Ch

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-05033 Agnes T. Sweeney. Claimant v. Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc., and Edward P. Bee, Respondents. ATTORNEYS: Claimant, Agnes T. Sweeney, ("Claimant"), appeared pro se, Whitestone, NY. Respondents, Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds Inc. and Edward P. Bee, (collectively "Respondents"), appeared through their in-house counsel, Lisa B. Dodge, Esq., Sar

Award NASD Dispute Resolution In the Matter of the Arbifration Between: Gary DelPiano, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Bishop, (Respondents) Case Number: 01-03431 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gary DelPiano, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practitioner, Morristown, NJ. Claimant originally appeared pro se. Respondents, Menill Lynch, Pier

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert A. Miller, daimant v. PaineWebber, Inc. and Loren Lucas, Re^ndents Caisiifflte 98-02141 Hearing Site: Via Telephone REPRESENTATION OF PARTIES For Claimant: Robert A. Miller Seattle, Washington For Respondents: Payne Ten9>leton, Esq. PaineWebber, Inc. Los Angeles, Califomia Statement of Claim filed on or about: June 12,1998 Clainumt's Reply to Motion to Diambs fi